RM
Robert N. Maxson
COPPELL ADVISORY SOLUTIONS LLC
belmont, NC 28012
Some features on this profile are disabled
CRD#: 1789178
RM
Professional summary
Robert Neil Maxson, who also goes by Bob Maxson, Robert N Maxson, Robert Neil Maxson, Robert Maxson, is a registered financial advisor currently at COPPELL ADVISORY SOLUTIONS LLC located in Belmont, North Carolina and A.G.P. / ALLIANCE GLOBAL PARTNERS located in Charlotte, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Maxson | Robert N Maxson | Robert Neil Maxson | Robert Maxson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Belmont Capital; Investment Related:Yes; Nature of Outside Business:Insurance; Start Date:August 2024; Hours per month: 40; Hours per month during securities trading hours: 4; Description of Duties: insurance planning
CRS (Client Relationship Summary) - RIA
Click below to view Robert Neil Maxson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Neil Maxson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 13, 2024 - Present
COPPELL ADVISORY SOLUTIONS LLC
Office #1: 123 N. Main St., Belmont, NC 28012RIA
CRD#: 156549
belmont, NC
Current
June 6, 2025 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 700 East Blvd Unit 3, Charlotte, NC 28203RIA
BD
CRD#: 8361
Charlotte, NC
Current
June 6, 2025 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 700 East Blvd Unit 3, Charlotte, NC 28203RIA
BD
CRD#: 8361
Charlotte, NC
Past
December 5, 2018 - July 29, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
December 4, 2018 - July 29, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
April 8, 2016 - December 3, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Charlotte, NC
Past
April 7, 2016 - December 3, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
CHARLOTTE, NC
Past
February 26, 2016 - December 3, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
CHARLOTTE, NC
Past
July 28, 2014 - March 3, 2016
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
November 29, 2012 - August 6, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
November 20, 2012 - August 6, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
Past
November 14, 2011 - October 17, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CHARLOTTE, NC
Past
January 18, 2010 - April 27, 2011
POTOMAC SECURITIES, LLC
BD
CRD#: 144443
MCLEAN, VA
Past
October 6, 2009 - November 17, 2009
WADDELL & REED
BD
CRD#: 866
CHARLOTTE, NC
Past
November 4, 2008 - August 14, 2009
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
GARFIELD HEIGHTS, OH
Past
June 24, 2008 - October 31, 2008
FINANCIAL AMERICA SECURITIES, INC.
BD
CRD#: 5100
CLEVELAND, OH
Past
August 18, 2006 - April 2, 2007
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
May 13, 1999 - August 29, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BEACHWOOD, OH
Past
January 4, 1994 - August 29, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 20, 1988 - June 3, 1988
BRADY, FOLEY & CO., INCORPORATED
BD
CRD#: 20451
Past
April 20, 1988 - January 12, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
North Carolina(10/13/2024)
RR
North Carolina(6/6/2025)
RR
Ohio(6/17/2025)
IAR
Ohio(6/17/2025)
RR
South Carolina(6/6/2025)
IAR
South Carolina(6/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
